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Third-party risk was the single most clicked on topic in the 2025 FINTA Annual Regulatory Oversight Report
FINRA is looking for the sharing of up-to-date information related to firms critical third-party vendors
Denial of petition leads FINRA to consult with the SEC to modify the collateral consequences that came with pre-2025 OCC settlements
FINRA makes it clear that the proposed OBA rule contains no new reporting and approval requirements
Form CRS enforcement actions continue to be brought as the industry approaches the five-year anniversary of the form's June 30, 2020 compliance date
Two new alerts address the "fast-flux" technique of bad actors and an alleged large-scale data breach possibly affecting Oracle Cloud services
FINRA Forward is aimed at modernizing the SRO's rules, empowering broker-dealer compliance, and combatting cyber and fraud risks
IG concludes that additional oversight and monitoring of the SEC's CAT usage is needed
SRO review aimed at better supporting innovative approaches in conducting business
Capital formation and the "modern workplace" are the two initial areas of focus of broad FINRA review of rules